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Article NO. Content


Regulations Governing the Operation of Securities Introducing Broker Business by Futures Commission Merchants  CH

Amended Date: 2014.05.29 
Article 28     The competent authority, the TWSE, the GTSM, or an institution designated by the competent authority may examine the business or finances of the securities introducing broker and other necessary matters.
    A securities introducing broker shall provide explanations and relevant documents in connection with the examinations referred to in the preceding paragraph.